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QuickStart Investment Management Questionnaire Thank you for your interest in establishing an account with Brick Financial. We do not take custody of client assets. Your assets will be held in your name at online broker Foliofn.com (they will serve as custodian) and Brick Financial is granted limited trading authority on the account. (We also use Ameritrade as a custodial broker for some accounts. After filling out this form we may determine that your account would be better placed with Ameritrade.)
Please fill out the following information to establish your account. This is a condensed version of our Investment Management Questionnaire (IMQ) paper form. Please make sure you review our ADV Form II. (Most of the information in this document can also be found on our website.)
Notes about each Section of the QuickStart IMQ:
Brick Financial will keep your personal information private as stated in the privacy policy and terms & conditions. Federal anti-terrorism and anti-money laundering laws (USA Patriot Act) requires us to collect information that can be used to identify you (i.e. your Social Security number). However, Regulation S-P under Section 504 of the Gramm-Leach-Billey Act, requires us to protect your information unless otherwise required by law. This is for our protection as well as yours. We will never ask for more information than we need, we will never use your information unethically, and we will never share, rent or sell your information.
If you have any questions about the services we provide please feel free to contact us and we will respond directly.
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